FALL 2011 MEETING
PRELIMINARY AGENDA
Wednesday October 5
3:00 PM to 5:00 PM Ethics - Why Do People Turn to the Dark Side? presented by Deanna Sullivan - Founder and Principal of Sullivan Solutions
6:00 PM to 8:00 PM Registration
6:00 PM to 8:00 PM Cocktail Reception
Thursday October 6
7:15 AM to 8:45 AM Breakfast Buffet
8:00 AM to 8:45 AM Late Registration
9:00 AM to 12:00 PM Individual Sessions
All Day Sessions
Executive (by invitation only)
Information Technology
AM Sessions
Reinsurance
Concepts for the New Audit Professional
P&C- Small Company (Guideline: Total Staff Less Than 10)
Data Analytics/CAATS - (ACL, IDEA etc.)
10:15 AM to 10:45 AM Coffee/Soft Drink Break
12:00 PM to 1:15 PM Lunch
1:15 PM to 5:00 PM Individual sessions
Executive (continues)
IT Session (continues)
PM Sessions
Life, Annuities, and Investment
NAIC Model Audit Rule/Sox
P&C Session- Large Company (Guideline: Total Staff of 10 or More)
Fraud
3:00 PM to 3:30 PM Coffee/Soft Drink Break
6:00 PM to 7:00 PM Cocktail Reception
7:00 PM to 9:00 PM Dinner
Friday October 7
7:15 AM to 8:45 AM Breakfast Buffet
9:00 AM to 9:10 AM IIAG Business Meeting
9:10 AM to 12:00 PM Managing the Risk of Fraud and Misconduct/ Anti-bribery and Corruption Initiatives presented by Tim Hedley, PhD - KPMG Partner and Andrew Curtin, Managing Director KPMG
WHAT HAPPENS AT THE IIAG MEETING?
The Insurance Internal Audit Group has 2 meetings per year. Each meeting uses a similar format.
Wednesday there is a speaker from 3 - 5 PM on a current issue in auditing.
At 6 PM, we hold a cocktail party for all registrants. This gives attendees a chance to network, socialize and greet old friends. You also pickup your nametag at the registration table outside the reception.
Thursday consists of 2 sets of roundtable discussions. Based on different product types or issues, each roundtable is led by a discussion leader who facilitates discussion of the questions previously submitted by participants. This is not a lecture series or instructor course! The questions for your session are e-mailed to you approximately one week before the meeting. The quality of the discussion depends on you submitting your questions and getting answers to other people's questions prior to the meeting!
Friday morning's session features a speaker on a current issue in auditing.
The IIAG meeting program level is Basic and there are no prerequisites to attending an IIAG meeting. The only pre-work required is to submit your questions! Discussion levels will range from basic to advanced depending on the questions submitted and which session you attend.
Dress for all sessions is business casual. No tee shirts or shorts during the meetings and meals please!
The IIAG reserves the right to cancel any session due to lack of participation up to 3 working days before the meeting.
SESSION LEARNING OBJECTIVES
Through participation at the sessions, you will keep abreast of current events and expand your knowledge and skills in the field of Insurance Internal Auditing. You will, with your peers, have open and frank discussions of real business problems that affect your company, and identify appropriate ways to address these problems. You will also exchange ideas on audit techniques, learn about new products, develop consultative relationships with your associates and cultivate new networking relationships.
CANCELLATIONS
Cancellations received by September 30, 2011 at 5PM Eastern Time will receive a refund. Fees cannot be carried over to another meeting and late cancellations will not receive refunds regardless of the reason. Failure to cancel a registration will result in billing for the meeting fee. Substitutions may be made without penalty and can be done at the meeting. Cancellations should be e-mailed to registration@iiag.net.
Attendees are responsible for canceling their own hotel reservations.
COMPLAINT RESOLUTION
For more information regarding administrative policies such as complaints and refunds, please contact our offices at www.iiag.net.
GUESTS
Guests may attend all receptions and meal functions for an additional $345 fee.
CONTINUING EDUCATION INFORMATION
CPE is awarded based upon a 50-minute hour using a group-live delivery method. CPE certificates are distributed at the close of each session. Certificates must be picked up at the session and are not available at a later date. The IIAG is an approved sponsor of the National Association of State Boards of Accountancy. You may earn up to 12 hours of CPE in Auditing.
The Insurance Internal Audit Group (IIAG) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
Our Speakers
On Wednesday:
Deanna Sullivan, the founder and principal of SullivanSolutions, specializes in enhancing both corporate and individual business performance via customized solutions. She has a diverse background ranging from auditing and accounting to coaching and training.
Formerly a partner with Arthur Andersen, Deanna was Global Director of Process and Methodology for Andersen's Risk Consulting practice. Deanna developed Andersen's Quality Assurance Review Methodology for Internal Audit and the Global Best Practices for Internal Audit.
Prior to 1994, Deanna was responsible for international and operational auditing at Enron Corp in Houston and Maxus Energy in Dallas. Deanna received her BBA in Accounting from West Texas State University. She is a CIA, CPA and CFE.
Joining The IIA in 1987, Deanna was selected Outstanding New Member of the Dallas Chapter. She has since served in a variety of roles at both the Chapter and International levels. She is currently a member of the Board of Governors for the Houston Chapter, a member of the International Conference Committee and past Chairman of the 2006 International Conference in Houston. Deanna is a frequent speaker for the IIA, including the 2007 International Conference in Amsterdam, 2008 in San Francisco, 2009 in Johannesburg and 2010 in Atlanta.
On Friday:
Dr. Hedley is a Partner in KPMG's Forensic practice where he serves as Global Lead for the firm's Fraud Risk Management initiative. He provides clients with a wide range of forensic services by assisting with the prevention, detection and response to fraud and misconduct.
Investigative and Integrity Advisory Experience
Works with companies to respond to allegations of fraud or misconduct, including, among others, allegations involving earnings management, bribery, corruption and kickbacks, counterfeiting, construction fraud, Ponzi schemes and employee theft.
Builds methodologies and tools to assess the effectiveness of anti-fraud, corporate compliance, and integrity programs for multinational business organizations.
Conducts fraud and compliance risk assessments for clients in such industries as automotive, retail, food & beverage, consumer products, manufacturing, financial services, information services, utilities, defence, waste, energy services and telecommunications.
Designs and conducts fraud awareness and compliance training programs. This includes instructing and helping companies identify key training areas, design case studies, and roll out train-the-trainer programs.
Works with companies to benchmark their anti-fraud and compliance efforts against recognized industry practices. Also, helps clients establish baseline key performance indicators to monitor progress.
Coordinates detailed internal audit testing of identified fraud, compliance and integrity risk areas, including, among other areas, cash, FCPA, conflicts of interest, equal treatment, and anti-trust.
Assists with the design, implementation and evaluation of corporate fraud investigative units.
He has worked on the KPMG's efforts to build a model ethics and compliance program. This service included serving on the Firm's Legal and Compliance Committee, chairing the Code of Conduct taskforce and chairing the Investigative Process Enhancement taskforce.
Andrew J. Curtin is a Managing Director in the New York office of KPMG LLP's Forensic Advisory Services practice. He has more than 25 years of experience in internal corporate investigations, and specializes in providing investigative advisory services, conducting Foreign Corrupt Practices Act (FCPA) and fraud investigations and developing and reviewing compliance, training and business ethics programs.
Prior to joining KPMG, he served in the law department of Citigroup and Travelers Insurance as Chief Compliance and Privacy Officer, Claim Services and Chief Anti-Money Laundering Officer. He was also responsible for implementing anti-fraud programs and conducting internal investigations on behalf of Senior Management and the Board of Directors. These investigations included enforcement actions initiated by the Department of Justice, Securities and Exchange Commission, state Attorneys General and the United States Senate Permanent Subcommittee on Investigations.
As a member of Citigroup's Anti-Money Laundering Executive Advisory Board he was responsible for providing information and recommendations to the firm's General Counsels and Senior Management on anti-money laundering issues and to keep Citigroup businesses informed about how products and services in the financial services industry are used to launder money. In addition, his responsibilities included government relations and interaction with state and federal regulatory authorities.
Andrew both supervised and conducted the investigation and prosecution of complex financial services and insurance fraud, money laundering, asset forfeiture and organized crime cases in state and federal court in the Offices of the New York State Attorney General and the Manhattan District Attorney. He was selected by the Attorney General to serve on the Attorney General's Advisory Council which was created to improve the functioning of the office and assist in the creation of policy.
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QUESTIONS SHOULD BE SENT TO:
Property Casualty-Large and Small Company
Doug Wise
Email: douglas_wise@comcast.net
IT
Shibu Joykutty
The Westfield Group
Email: shibujoykutty@westfieldgrp.com
Concepts for the New Audit Professional
Melissa Hoover
Email: mhoover01@comcast.net
Reinsurance
Craig Trujillo
City of Hartford
Email: TRUJC001@hartford.gov
Fraud
Joe Vavra
Legion Insurance Company
Email: jvavra@legioninsurance.com
Data Analytics/CAAT's
Seth Davis
RLI Insurance Co.
Email: Seth_Davis@rlicorp.com
NAIC Model Audit Rule/Sox
Brian Makowski
Jackson Life
Email: brian.makowski@jackson.com
Life, Annuities,and Investments
Mike Hession
The Hartford
Email: mike.hession@thehartford.com
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